Compliance Specialist

4 days ago

Denver, Colorado, United States PINE Advisor Solutions Full time
Job Overview

PINE Advisor Solutions is a dynamic organization that provides institutional-quality, outsourced solutions for funds and investment managers. We are seeking a qualified Compliance Consultant to join our collaborative and innovative atmosphere.

The ideal candidate will be motivated by a passion for learning and contributing, skilled at handling diverse responsibilities, and committed to embracing our inclusive culture.

As an integral member of our ACSS Team, you will provide regulatory and compliance support in a fast-paced, team-oriented environment. This role requires keen attention to detail and strong client service skills.

  • Support and assist our registered investment adviser clients by providing regulatory and compliance support
  • Provide oversight of registered investment adviser compliance matters
  • Assist in the development of registered investment adviser risk assessment and risk analysis programs
  • Complete annual reviews in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940
  • Establish and/or update all required items for a registered investment adviser, including an ongoing compliance calendar, compliance manual, and code of ethics
  • Assist with the preparation and filing of periodic, annual, and ongoing regulatory filings (Form ADV, Form PF, 13F, 13D/G, 13H, etc.)
  • Conduct periodic and annual employee compliance training
  • Conduct annual reviews of key vendors, including administrators, transfer agents, fund distributors, auditors, prime brokers, etc.
  • Conduct quarterly forensic compliance program testing, including performing ongoing reviews based on the clients' written policies and procedures
  • Assist with regulatory examinations of clients' compliance programs conducted by regulatory authorities, including SEC, NFA, and state securities boards
  • Assist in the development/maintenance of compliance policies and procedures as well as the design/maintenance of the compliance program
  • Maintain awareness of industry regulatory developments and assist in developing updated policies for registered investment advisers
  • Provide support to Registered Fund CCO Support services as needed
Qualifications
  • 1-5 years of experience in a regulatory and compliance field preferred
  • Team player with a positive attitude and strong interpersonal skills
  • Excellent verbal, written, and presentation skills are essential
  • Ability to establish and maintain effective working relationships with employees and clients
  • Proficient in the use of MS Office: strong knowledge of Excel, PowerPoint, and Word required
  • Knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, Regulation D, and other SEC, FINRA, and NFA laws and regulations that affect asset managers is preferred
  • Demonstrated experience with compliance and regulatory matters affecting the operations and governance of investment advisers, pooled investment vehicles, and registered mutual funds is a plus
What You Can Expect From PINE

We trust you to be the expert on creating an environment that allows you to bring your best self to work. With unlimited vacation and flexible work-from-home options, we encourage a work-life balance that brings out the best in our team.

At PINE, we prioritize ensuring that each team member has the chance to emerge as a leader and make substantial contributions to our company.

We place an emphasis on learning from each other and celebrating our unique expertise. There are abundant opportunities to learn and hone new skills.

Benefits and Perks

Health Insurance – we cover 100% of the cost for Employees

A comprehensive selection of EPO, PPO, and HMO medical, dental, and vision health plans

Life and disability insurance

401(k) Savings Plan

Unlimited Vacation Policy

Flexible Work from Home Policy

Quarterly Offsite Team Events

Office Snacks & Frequent Catered Team Lunches

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